Chapter 3701-13 | Hiring of Direct-Care Provider Employees

Rule 3701-13-01 | Definitions.

• Effective: December 8, 2023
• Promulgated Under: 119.03

As used in this chapter:

(A) "Applicant" means a person who is under final consideration for employment with a direct care provider (DCP) in a full-time, part-time, or temporary position that involves providing direct care to an older adult. "Applicant" does not include a person who provides direct care as a volunteer without receiving or expecting to receive any form of remuneration other than reimbursement for actual expenses.

(B) "BCII" means the bureau of criminal identification and investigation.

(C) "Chief administrator" means the individual in charge of the daily operation of the DCP or any employee of the DCP whom the chief administrator has designated as his representative pursuant to paragraph (B) of rule 3701-13-03 of the Administrative Code.

(D) "Criminal records check" means any criminal records check conducted by the superintendent of BCII in accordance with division (B) of section 109.572 of the Revised Code.

(E) "Department" means the department of health.

(F) "Direct care" means the provision of a service to an older adult or group of older adults that involves one or more of the following:

(1) Coordination of, direct supervision of, or provision of personal care, nursing, or health related services;

(2) Routine contact, such as face-to-face, hands-on physical assistance, verbal cueing, reminding, standing by or monitoring of activities;

(3) Activity that requires the person to be routinely alone with older adults or to routinely have access to older adults' personal property or financial documents;

(4) Any routine service or activity designated as direct care by the chief administrator; and

(5) In the case of a hospice care program, any service provided in an older adult's place of residence.

(G) "Direct care provider" or "DCP" means:

(1) An "adult day-care program" operated by and on the same site as a nursing home, residential care facility, home for the aging, or the Ohio veterans' home;

(2) A county home or district home operated under Chapter 5155. of the Revised Code;

(3) A "hospice care program" defined under section 3712.01 of the Revised Code;

(4) A hospital unit certified as a nursing facility or skilled nursing facility under Title XVIII or XIX of the "Social Security Act," 49 STAT. 620 (1935), 42 U.S.C.A. 301 as amended (1981); and

(5) A nursing home, residential care facility, or home for the aging as defined in section 3721.01 of the Revised Code and the Ohio veterans' homes.

(H) "Director" means the director of health or any division, bureau, agency, official or employee of the department to which the director has delegated his authority or duties.

(I) "FBI" means the federal bureau of investigation.

(J) "Offense of violence" means any of the following:

(1) A violation of section 2903.01 (aggravated murder), 2903.02 (murder), 2903.03 (voluntary manslaughter), 2903.04 (involuntary manslaughter), 2903.11 (felonious assault), 2903.12 (aggravated assault), 2903.13 (assault), 2903.21 (aggravated menacing), of division (A)(1) of section 2903.34 (patient abuse or neglect), 2905.01 (kidnapping), 2905.02 (abduction), 2905.11 (extortion), 2907.02 (rape), 2907.03 (sexual battery), 2907.05 (gross sexual imposition), 2911.01 (aggravated robbery), 2911.02 (robbery), 2911.11 (aggravated burglary), 2911.12 (burglary), 2919.25 (domestic violence), 2923.161 (improperly discharging firearm at or into a habitation, in a school, or with intent to cause harm or panic to persons in a school building or at a school function) or former section 2907.12 (felonious sexual penetration) of the Revised Code;

(2) A violation of an existing or former law of this or any other state or the United States, substantially equivalent to any section or division or offense listed in paragraph (J)(1) of this rule;

(3) An offense, listed or described in rule 3701-13-05 of the Administrative Code or an offense under an existing or former law of this or any other state or the United States that is substantially equivalent to any of those offenses, committed purposely or knowingly, and involving physical harm to persons or a risk of serious physical harm to persons.

(K) "Older adult" means a person age sixty or older.

(L) "PASSPORT agency" means a public or private entity that provides home and community-based services to older adults through the PASSPORT program created under section 173.52 of the Revised Code.

(M) "Repeat violent offender" means a person who has been convicted of or pleaded guilty to the commission of any of the offenses of violence, listed or described in paragraph (J) of this rule, in two or more separate criminal actions. Convictions or guilty pleas resulting from or connected with the same act, or resulting from offenses committed at the same time, will be counted as one conviction or guilty plea.

(N) "Sexually oriented offense" means any of the following offenses:

(1) Regardless of the age of the victim of the offense, a violation of section 2907.02 (rape), 2907.03 (sexual battery), or 2907.05 (gross sexual imposition) of the Revised Code, or former 2907.12 (felonious sexual penetration) of the Revised Code;

(2) Any of the following offenses involving a minor in the circumstances specified:

(a) A violation of section 2905.01 (kidnapping) or 2905.02 (abduction) of the Revised Code when the victim is under eighteen years of age;

(b) A violation of division (A)(1) or (A)(3) of section 2907.321 (pandering obscenity involving a minor) or 2907.322 (pandering sexually oriented matter involving a minor) of the Revised Code;

(c) A violation of division (A)(1) or (A)(2) of section 2907.323 (illegal use of a minor in nudity-oriented material or performance) of the Revised Code;

(3) Regardless of the age of the victim of the offense, a violation of section 2903.01 (aggravated murder), 2903.02 (murder), 2903.11 (felonious assault), or 2905.01 (kidnapping) of the Revised Code, or of division (A) of section 2903.04 (involuntary manslaughter) of the Revised Code with a purpose to gratify the sexual needs or desires of the offender;

(4) A sexually violent offense as defined in paragraph (P) of this rule;

(5) A violation of any former law of this state that was substantially equivalent to any offense listed in paragraphs (N)(1) to (N)(4) of this rule;

(6) A violation of an existing or former law of another state or the United States, or a violation under the law applicable in a military court, that is or was substantially equivalent to any offense listed in paragraphs (N)(1) to (N)(5) of this rule;

(O) "Sexually violent offense" means a violent sex offense, or a designated homicide, assault, or kidnapping offense for which the offender also was convicted of or pleaded guilty to a sexual motivation specification.

(1) "Designated homicide, assault, or kidnapping offense" means a violation of section 2903.01 (aggravated murder), 2903.02 (murder), 2903.11 (felonious assault), or 2905.01 (kidnapping) of the Revised Code or a violation of division (A) of section 2903.04 (involuntary manslaughter) of the Revised Code;

(2) "Sexual motivation" means a purpose to gratify the sexual needs or desires of the offender.

(3) "Sexual motivation specification" means a specification, as described in section 2941.147 of the Revised Code, that charges that a person charged with a designated homicide assault or kidnapping offense committed the offense with a sexual motivation.

(4) "Violent sex offense" means any of the following:

(a) A violation of section 2907.02 (rape), 2907.03 (sexual battery), or division (A)(4) of section 2907.05 (gross sexual imposition when victim is under thirteen years of age) of the Revised Code or felonious sexual penetration in violation of former section 2907.12 of the Revised Code;

(b) A felony violation of a former law of this state that is substantially equivalent to a violation listed in paragraph (O)(4)(a) of this rule.

(P) "Superintendent" means superintendent of BCII.

(Q) "Theft related offense" means a violation of any of the following sections of the Revised Code: 2911.01 (aggravated robbery), 2911.02 (robbery), 2911.11 (aggravated burglary), 2911.12 (burglary), 2911.13 (breaking and entering), 2913.02 (theft, aggravated theft), 2913.03 (unauthorized use of a vehicle), 2913.04 (unauthorized use of property - computer, cable, or telecommunication property), 2913.11 (passing bad checks), 2913.21 (misuse of credit cards), 2913.31 (forging identification cards or selling or distributing forged identification cards), 2913.40 (medicaid fraud), 2913.43 (securing writings by deception), 2913.47 (insurance fraud), or 2913.51 (receiving stolen property). Convictions or guilty pleas resulting from or connected with the same act, or resulting from offenses committed at the same time, will be counted as one conviction or guilty plea.

Last updated December 8, 2023 at 7:48 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 11/30/2017

Rule 3701-13-02 | Applicability.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) Chapter 3701-13 of the Administrative Code applies to persons who apply for employment in a position involving the provision of direct care to an older adult including:

(1) A person who is paid directly by the DCP;

(2) A person who contracts as an independent contractor with the DCP to provide direct care on behalf of the DCP;

(3) A person who provides direct care on behalf of the DCP pursuant to a contract between the DCP and another business entity: and

(4) A person referred to the DCP by an employment service, temporary employment service or staffing pool.

(B) A DCP is obligated to request a criminal records check on any person employed by the DCP in a position other than direct care who then applies and is under final consideration for a position within the DCP that requires the provision of direct care to an older adult.

Last updated December 8, 2023 at 7:49 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 9/5/1997

Rule 3701-13-03 | Requirements for criminal records check.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) Except as otherwise provided in paragraph (H) of this rule, the chief administrator is obligated to request that the superintendent conduct a criminal records check with respect to each applicant.

(B) The chief administrator of a DCP may designate a representative such as a director of nursing, medical director, facility manager, or personnel officer to carry out the requirements of this rule on the chief administrator's behalf. The chief administrator remains ultimately responsible for complying with the requirements of this rule.

(C) Residency requirement.

(1) If the applicant does not present proof of having been a resident of this state for the five-year period immediately prior to the date the criminal records check is requested or provide evidence that within that five-year period the superintendent has requested information about the applicant from the FBI in a criminal records check, the chief administrator of the DCP is obligated to request that the superintendent obtain information from the FBI as part of the criminal records check of the applicant.

(2) Even if the applicant presents proof of having been a resident of this state for the five-year period or proof of an FBI criminal records check as specified in paragraph (C)(1) of this rule, the DCP may request that the superintendentan include information from the FBI in the criminal records check.

(D) Investigation fee.

(1) A DCP is obligated to pay to the BCII the fee prescribed pursuant to division (C)(3) of section 109.572 of the Revised Code for each criminal records check conducted pursuant to that section.

(2) A DCP may charge an applicant a fee not exceeding the amount the DCP pays under paragraph (D)(1) of this rule. A DCP may collect a fee only if both of the following apply:

(a) The DCP notifies the person at the time of the initial application for employment of the amount of the fee and that, unless the fee is paid by the person, the person will not be considered for employment;

(b) The medicaid program established under Chapter 5162. of the Revised Code does not reimburse the DCP for the fee it pays under paragraph (D)(1) of this rule.

(E) Notification to the applicant. The chief administrator of the DCP is obligated to inform each individual, at the time of initial application for a position that involves providing direct care to an older adult:

(1) That the individual is obligated to provide a set of fingerprint impressions and that a criminal records check is required to be conducted if the individual comes under final consideration for employment;

(2) If applicable, the information mandated under paragraph (D)(2)(a) of this rule; and

(3) Any fees authorized under division (C)(2) of section 109.572 of the Revised Code that are associated with obtaining fingerprint impressions.

(F) Criminal records check forms. The chief administrator of a DCP mandated by this rule to request a criminal records check is obligated to do all of the following:

(1) Provide each applicant a copy of the form(s) prescribed pursuant to division (C)(1) of section 109.572 of the Revised Code and a standard fingerprint impression sheet, or instructions for acquiring a standard fingerprint impression sheet prescribed pursuant to division (C)(2) of that section. The form and standard fingerprint sheets may be in a tangible format, in an electronic format, or in both tangible and electronic formats.

(a) An applicant who meets the residency requirement shall be provided a copy of the BCII "civilian identification" form for fingerprint impressions; in addition, if the DCP chooses to do so, the applicant may also be provided an FBI "applicant" fingerprint impression form. The standard fingerprint impression sheets may be in a tangible format, in an electronic format, or in both tangible and electronic formats.

(b) An applicant who does not meet the residency requirement, specified in paragraph (C) of this rule, shall be provided both the BCII and FBI fingerprint impression forms.

(2) Obtain the completed form(s) and fingerprint impression sheet(s) from the applicant. The standard fingerprint impression sheets may be in a tangible format, in an electronic format, or in both tangible and electronic formats.

(3) Forward the completed form(s) and fingerprint impression sheet(s) to the superintendent.

(a) The DCP is obligated to submit the completed forms in the method prescribed by BCII including, but not limited to, electronic submission.

(b) The DCP is obligated to submit all applicable fees with completed forms or arrange for payment in a method prescribed by BCII prior to submitting forms for processing.

(G) An applicant provided the forms and fingerprint impression sheets under paragraph (F)(1) of this rule, who fails to complete the forms or to provide fingerprint impressions, cannot be employed in any position for which a criminal records check is mandated by this rule.

(H) Exception to criminal records check rule. The DCP is not obligated to request that the superintendent conduct a criminal records check of an applicant if the applicant has been referred to the DCP by an employment service that supplies full-time, part-time, or temporary staff for positions involving the direct care of older adults if the requirements of this paragraph or of paragraph (B) of rule 3701-13-04 of the Administrative Code are met:

(1) The chief administrator receives from the employment service, or the applicant, a report of the results of a criminal records check regarding the applicant that has been conducted by the superintendent within the one-year period immediately preceding the applicant's referral; and

(2) The report of the criminal records check demonstrates that the person has not been convicted of or pleaded guilty to an offense listed or described in paragraph (A) of rule 3701-13-05 of the Administrative Code.

(I) In addition to or in conjunction with any request that is obligated to be made under this rule with respect to an individual who has applied for employment in a position that involves providing direct care to an older adult, the chief administrator of a DCP may request that the superintendent conduct a criminal records check with respect to any individual who has applied for employment in a position that does not involve providing direct care to an older adult.

Last updated December 8, 2023 at 7:49 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 9/5/1997, 11/25/2007

Rule 3701-13-04 | Conditional employment.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) A DCP may conditionally employ an applicant for whom a criminal records check request is required under rule 3701-13-02 of the Administrative Code prior to obtaining the results of a criminal records check regarding the applicant if the following requirements are met:

(1) The DCP is prohibited from employing an applicant prior to obtaining the completed form(s) and fingerprint impression sheet(s) from the applicant as required in paragraph (F) of rule 3701-13-03 of the Administrative Code. For purposes of this prohibition, the applicant cannot perform or participate in any job related activity pertaining to a position involving the provision of direct care to an older adult that places the applicant in an active pay status.

(2) The DCP is obligated to request a criminal records check in accordance with paragraph (F) of rule 3701-13-03 of the Administrative Code by submitting the request to BCII not later than five business days after the individual begins conditional employment.

(B) The DCP may conditionally employ an applicant for whom a criminal records check is obligated to be run in accordance with rule 3701-13-02 of the Administrative Code if all of the following requirements are met:

(1) The applicant has been referred to the DCP by an employment service that supplies full-time, part-time, or temporary staff positions involving the direct care of older adults; and

(2) The chief administrator receives from the employment service a letter that:

(a) Is on the letterhead of the employment service;

(b) Is dated and signed by a supervisor or another designated official of the employment service;

(c) States that the employment service has requested the superintendent to conduct a criminal records check regarding the applicant;

(d) States that the requested criminal records check will include a determination of whether the applicant has been convicted or pleaded guilty to any offense listed or described in rule 3701-13-05 of the Administrative Code;

(e) States that, as of the date set forth on the letter, the employment service had not received the results of the criminal records check; and

(f) States that, when the employment service receives the results of the criminal records check, it will promptly send a copy of the results to the DCP.

(C) If a DCP conditionally employs an applicant under paragraph (B) of this rule, the employment service, upon its receipt of the results of the criminal records check, is obligated to promptly send a copy of the results to the DCP, and paragraph (D) of this rule shall apply regarding the conditional employment.

(D) The DCP is obligated to terminate the individual's conditional employment in a position involving direct care to an older adult if:

(1) The results of the criminal records check, other than the results of any request for information from the FBI, are not obtained within thirty days after the date the request is made; or

(2) The results of any part of the records check indicate that the individual has been convicted of or pleaded guilty to any of the offenses listed or described in paragraph (A) of rule 3701-13-05 of the Administrative Code, unless the DCP chooses to employ the applicant pursuant to the personal character standards established in rule 3701-13-06 of the Administrative Code.

(E) Termination under paragraph (D) of this rule is considered just cause for discharge for purposes of division (D)(2) of section 4141.29 of the Revised Code if the individual makes any attempt to deceive the DCP about the individual's criminal record.

Last updated December 8, 2023 at 7:49 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 11/25/2007

Rule 3701-13-05 | Disqualifying offenses.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) Except as set forth in the personal character standards established in rule 3701-13-06 of the Administrative Code, no DCP is allowed to employ a person in a position that involves providing direct care to an older adult if the person has been convicted of or pleaded guilty to:

(1) A violation of any of the following sections of the Revised Code:

(a) 2903.01 -- Aggravated murder;

(b) 2903.02 -- Murder

(c) 2903.03 -- Voluntary manslaughter

(d) 2903.04 -- Involuntary manslaughter

(e) 2903.11 -- Felonious assault

(f) 2903.12 -- Aggravated assault

(g) 2903.13 -- Assault

(h) 2903.16 -- Failing to provide for a functionally impaired person

(i) 2903.21 -- Aggravated menacing

(j) 2903.34 -- Patient abuse or neglect

(k) 2905.01 -- Kidnapping

(l) 2905.02 -- Abduction

(m) 2905.11 -- Extortion

(n) 2905.12 -- Coercion

(o) 2907.02 -- Rape

(p) 2907.03 -- Sexual battery

(q) 2907.05 -- Gross sexual imposition

(r) 2907.06 -- Sexual imposition

(s) 2907.07 -- Importuning

(t) 2907.08 -- Voyeurism

(u) 2907.09 -- Public indecency

(v) Former 2907.12 -- Felonious sexual penetration

(w) 2907.25 -- Prostitution; after positive HIV test

(x) 2907.31 -- Disseminating matter harmful to juveniles

(y) 2907.32 -- Pandering obscenity

(z) 2907.321 -- Pandering obscenity involving a minor or impaired person

(aa) 2907.322 -- Pandering sexually oriented matter involving a minor or impaired person

(bb) 2907.323 -- Illegal use of a minor in nudity-oriented material or performance

(cc) 2911.01 -- Aggravated robbery

(dd) 2911.02 -- Robbery

(ee) 2911.11 -- Aggravated burglary

(ff) 2911.12 -- Burglary

(gg) 2911.13 -- Breaking and entering

(hh) 2913.02 -- Theft

(ii) 2913.03 -- Unauthorized use of a vehicle

(jj) 2913.04 -- Unauthorized use of property; computer, cable, or telecommunication property

(kk) 2913.11 -- Passing bad checks

(ll) 2913.21 -- Misuse of credit cards

(mm) 2913.31 -- Forgery; forging identification cards or selling or distributing forged identification cards

(nn) 2913.40 -- Medicaid fraud

(oo) 2913.43 -- Securing writings by deception

(pp) 2913.47 -- Insurance fraud

(qq) 2913.51 -- Receiving stolen property

(rr) 2919.25 -- Domestic violence

(ss) 2921.36 -- Illegal conveyance of weapons, or prohibited items onto grounds of detention facility or institution

(tt) 2923.12 -- Carrying concealed weapons

(uu) 2923.13 -- Having weapons while under disability

(vv) 2923.161 -- Improperly discharging firearm at or into a habitation, in a school safety zone or with intent to cause harm or panic to persons in a school building or at a school function

(ww) 2925.02 -- Corrupting another with drugs

(xx) 2925.03 -- Trafficking, aggravated trafficking in drugs

(yy) 2925.11 -- Possession of controlled substances

(zz) 2925.13 -- Permitting drug abuse

(aaa) 2925.22 -- Deception to obtain a dangerous drug

(bbb) 2925.23 -- Illegal processing of drug documents

(ccc) 3716.11 -- Placing harmful objects in food or confection

(2) A violation of an existing or former law of this state, any other state or the United States that is substantially equivalent to any of the offenses or violations listed in paragraph (A)(1) of this rule.

(B) Pardons. A conviction of or a plea of guilty to an offense listed or described in paragraph (A) of this rule does not prevent an applicant's employment under any of the following circumstances:

(1) The applicant has been granted an unconditional pardon for the offense pursuant to Chapter 2967. of the Revised Code;

(2) The applicant has been granted an unconditional pardon for the offense pursuant to an existing or former law of the this state, any other state, or the United States, if the law is substantially equivalent to Chapter 2967. of the Revised Code;

(3) The conviction or guilty plea has been set aside pursuant to law; or

(4) The applicant has been granted a conditional pardon for the offense pursuant to Chapter 2967. of the Revised Code, and the conditions under which the pardon was granted have been satisfied.

Last updated December 8, 2023 at 7:49 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 12/2/2002, 11/25/2007

Rule 3701-13-06 | Personal character standards.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) A DCP may employ an applicant who has been convicted of or pleaded guilty to an offense listed in paragraph (A) of rule 3701-13-05 of the Administrative Code in a position involving direct care to an older adult, if all of the following standards are met:

(1) The applicant is not a repeat violent offender as defined in paragraph (M) of rule 3701-13-01 of the Administrative Code;

(2) The offense is not a sexually oriented offense as defined in paragraph (N) of rule 3701-13-01 of the Administrative Code;

(3) The offense is not a violation of any of the following sections of the Revised Code or a violation of an existing or former law of this state, any other state, or the United States, if the offense is substantially equivalent to the offenses or violations described in the following sections of the Revised Code: 2903.01 (aggravated murder), 2903.02 (murder), 2903.03 (voluntary manslaughter), 2903.34 (patient abuse or neglect), or 3716.11 (placing harmful objects in food or confection);

(4) If the applicant has more than one theft related offense as defined in paragraph (Q) of rule 3701-13-01 of the Administrative Code;

(a) The victim of either offense was not an older adult; and

(b) At least seven years have elapsed since the date the applicant was fully discharged from imprisonment, probation, or parole for the most recent offense;

(5) If the offense is an offense of violence as defined in paragraph (J) of rule 3701-13-01 of the Administrative Code, other than one listed in paragraph (A)(3) of this rule; and

(a) The victim of the offense was not an older adult; and

(b) At least five years have elapsed since the date the applicant was fully discharged from imprisonment, probation and parole; or

(6) If the offense is not an offense of violence as defined in paragraph (J) of rule 3701-13-01 of the Administrative Code or an offense listed in paragraph (A)(3) of this rule; and

(a) The applicant is either discharged from imprisonment, sentenced to probation, is fined or is on parole; and

(b) The applicant provides proof that all conditions regarding fulfillment of sentencing requirements are being met.

(7) The applicant's character is such that it is unlikely that the applicant will harm an older adult. In making that determination, the chief administrator is obligated to consider the following factors for each offense:

(a) The applicant's age at the time of the offense;

(b) Regardless of whether the applicant knew the victim prior to the committing of the offense, the age and mental capacity of the victim;

(c) The nature and seriousness of the offense;

(d) The number of previous offenses or length of time since the most recent conviction or guilty plea;

(e) The degree to which the applicant participated in the offense and the degree to which the victim contributed to or provoked the offense;

(f) The likelihood that the circumstances leading to the offense will reoccur;

(g) The applicant's employment record;

(h) The applicant's efforts at rehabilitation and the results of those efforts;

(i) If known, whether the applicant has been convicted of or pleaded guilty to any violation of an existing or former municipal ordinance substantially equivalent to any offense listed or described in rule 3701-13-05 of the Administrative Code;

(j) Whether any criminal proceedings are pending; and

(k) Any other factors related to the position that the chief administrator considers relevant to the performance of job duties.

(B) If the applicant fails to provide proof that the personal character standards listed in this rule are met, or if the DCP determines that the proof offered by the applicant is inconclusive, the applicant cannot be employed in a position that involves providing direct care to older adults.

Last updated December 8, 2023 at 7:50 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 9/5/1997

Rule 3701-13-07 | Records and reports.

• Effective: December 8, 2023
• Promulgated Under: 119.03

(A) Criminal records check disclosure. The report of the criminal records check conducted pursuant to a request made under rule 3701-13-03 of the Administrative Code is not a public record for the purposes of section 149.43 of the Revised Code and is not permitted to be made available to any person other than the following:

(1) The individual who is the subject of the criminal records check or the individual's representative;

(2) The chief administrator of the DCP requesting the criminal records check or the administrator's representative;

(3) The chief administrator of the DCP, any other DCP, home health agency defined under section 3740.01 of the Revised Code, or PASSPORT agency that provides direct care to older adults that is owned or operated by the same entity that owns or operates the DCP;

(4) Any court, hearing officer, or other necessary individual involved in a case dealing with the denial of employment of the applicant or dealing with employment or unemployment benefits; or

(5) Any person to whom a report is provided pursuant to paragraph (H) of rule 3701-13-03 of the Administrative Code or paragraph (B) of 3701-13-04 of the Administrative Code.

(B) Personnel record. The DCP is obligated to maintain the criminal records report in a confidential manner either sealed within, or separate from but a part of, the personnel record.

(C) Attestation. It is mandatory that the DCP , upon request, provide to the director written confirmation of compliance with the provisions of this rule in a format that is specified by the director and is consistent with state law.

(D) Documentation of compliance. The DCP is obligated to maintain an applicant log separate from the personnel record that is accessible to the director and contains the following information:

(1) The name of each applicant;

(2) Application date;

(3) The date the applicant starts work;

(4) The date the criminal records check request is submitted to BCII;

(5) The type(s) of criminal records checks requested (BCII, FBI, or both);

(6) The date(s) the BCII and FBI checks are received or, for referred applicants or applicants employed pursuant to a contract, the date a copy of the report of the criminal records check is provided to the DCP for its records;

(7) The date the report is completed by BCII, "date of original record check";

(8) Whether the applicant was hired pursuant to the personal character standards listed in rule 3701-13-06 of the Administrative Code;

(9) Final disposition of the applicant; and

(10) Whether the applicant was terminated pursuant to paragraph (D)(1), paragraph (D)(2) or paragraph (E) of rule 3701-13-04 of the Administrative Code.

Last updated December 8, 2023 at 7:50 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028
Prior Effective Dates: 12/2/2002, 11/25/2007

Rule 3701-13-08 | Liability.

• Effective: December 8, 2023
• Promulgated Under: 119.03

In a tort or other civil action for damages that is brought as the result of an injury, death, or loss to person or property caused by an individual who a DCP employs in a position that involves providing direct care to older adults, the following applies:

(A) If the DCP employed the individual in good faith and reasonable reliance on the report of a criminal records check requested under this chapter, the DCP will not be found negligent solely because of its reliance on the report, even if the information in the report is determined later to have been incomplete or inaccurate;

(B) If the DCP employed the individual in good faith on a conditional basis pursuant to rule 3701-13-04 of the Administrative Code, the DCP will not be found negligent solely because it employed the individual prior to receiving the report of a criminal records check requested under this chapter;

(C) If the DCP in good faith employed the individual according to the personal character standards adopted under rule 3701-13-06 of the Administrative Code, the DCP will not be negligent solely because the individual prior to being employed had been convicted of or pleaded guilty to an offense listed or described in rule 3701-13-05 of the Administrative Code.

Last updated December 8, 2023 at 7:50 AM

Supplemental Information

Authorized By: 3712.09; 3721.121
Amplifies: 3712.09; 3721.121
Five Year Review Date: 12/8/2028

Rule 3701-13-09 | Compliance action.

• Effective: September 5, 1997
• Promulgated Under: Ch 119.

As authorized by the applicable state laws and rules governing the specific DCP, the department may take appropriate action against a direct care provider that violates the requirements of Chapter 3701-13 of the Administrative Code and the authorizing sections of the Revised Code applicable to the specific DCP.

Last updated January 2, 2024 at 2:00 PM

Supplemental Information

Authorized By: –
Amplifies: –
Five Year Review Date: